[Form 4/A] NewtekOne, Inc. Amended Insider Trading Activity

Rhea-AI Filing Summary

NewtekOne, Inc. chief legal officer Michael A. Schwartz filed an amended Form 4 reporting the acquisition of 2,247 shares of common stock on 01/14/2026 at a price of $13.91 per share. Following this transaction, he beneficially owned 49,713 shares of NewtekOne common stock in direct ownership. The amendment clarifies that the transaction code in Table I should be reported as an acquisition (code A), correcting a prior filing that had shown the transaction as a purchase (code P).

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Schwartz Michael Adam

(Last) (First) (Middle)

4800 T REX AVENUE, SUITE 120

(Street)

BOCA RATON FL 33431

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
NewtekOne, Inc. [ NEWT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Legal Officer

3. Date of Earliest Transaction (Month/Day/Year)
01/14/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)
01/16/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	01/14/2026		A(1)		2,247	A	$13.91	49,713	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. This Amendment to Form 4 is being filed to correct the Transaction Code in Table I, Column 3a, from P to A.

Remarks:

	Michael A. Schwartz	01/16/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What insider transaction did NewtekOne (NEWT) disclose for January 14, 2026?

The filing shows that NewtekOne’s chief legal officer, Michael A. Schwartz, acquired 2,247 shares of the company’s common stock on 01/14/2026 at a price of $13.91 per share.

How many NewtekOne (NEWT) shares does Michael A. Schwartz own after this transaction?

After the reported acquisition, Michael A. Schwartz beneficially owned 49,713 shares of NewtekOne, Inc. common stock, held in direct ownership.

What does this Form 4/A amendment change in the earlier NewtekOne (NEWT) filing?

The amendment corrects the transaction code in Table I from P (purchase) to A (acquisition), clarifying how the previously reported share transaction should be classified.

Who is the insider reporting this NewtekOne (NEWT) Form 4/A transaction?

The reporting person is Michael A. Schwartz, who serves as Chief Legal Officer of NewtekOne, Inc. and filed the Form 4/A as a single reporting person.

Is the NewtekOne (NEWT) insider transaction reported as direct or indirect ownership?

The Form 4/A lists the ownership form for the 49,713 shares as Direct (D), indicating that the shares are directly owned by Michael A. Schwartz.

Does this NewtekOne (NEWT) Form 4/A involve any derivative securities?

The section for derivative securities (Table II) does not list any transactions, so this amendment pertains only to non-derivative common stock.